L••• C•••••

• F••••• I••••••••• independent RIA current
  since Oct 5, 2012 · San Mateo, Ca
• S••••• W••••• A•••••••• I••• no RAUM
  Jan 3, 2012 to Sep 27, 2012 · Phoenix, Az
• C•••••• S••••• • C••• I••• national BD
  Jul 31, 2008 to Dec 31, 2011 · Englewood, Co
• U••• F•••••••• P••••••• S••••••• former
  Jul 16, 2007 to Jun 27, 2008 · Phoenix, Az
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 4, 2006 to May 17, 2007 · Phoenix, Az

• S••••• W••••• A•••••••• I••• to F••••• I•••••••••
  left Sep 27, 2012, registered Oct 5, 2012 (8 days) · Other
• C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
  left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
• U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••
  left Jun 27, 2008, registered Jul 31, 2008 (34 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••
  left May 17, 2007, registered Jul 16, 2007 (60 days) · Affiliated broker-dealer or bank to a newly registered adviser

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Independent wealth managerderived

Years in industry

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address